Brian F. Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Farwell Davis, who also goes by Brian Davis, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2014 - February 4, 2016
DREXEL HAMILTON, LLC
March 19, 2013 - January 27, 2014
D.A. DAVIDSON & CO.
November 3, 2010 - March 15, 2013
STERNE, AGEE & LEACH, INC.
October 16, 2007 - November 9, 2010
RAYMOND JAMES & ASSOCIATES, INC.
June 14, 2006 - May 23, 2007
ABN AMRO INCORPORATED
October 3, 2005 - May 22, 2007
LASALLE FINANCIAL SERVICES, INC.
September 7, 2005 - October 4, 2005
ABN AMRO INCORPORATED
February 7, 2001 - August 24, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 28, 1998 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 30, 1994 - February 5, 1998
PERSHING LLC
September 5, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
September 5, 1991 - August 23, 1994
LEHMAN GOVERNMENT SECURITIES INC.
September 5, 1991 - August 23, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
